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                                                            Cluster Board Meeting 6 June 2012
                                                                      Agenda Item number 7.2.1

                        6th June 2012
Report Title:    Futures 2013 – Organisational Development              Item No: 7.2.1
                 Plan for the Derbyshire Cluster.

1.   Background and context
     To ensure consistency of approach, the Cluster board agreed that its
     programme of organisational development, Futures 2013, should apply equally
     across both constituent PCT’s and asked to receive regular reports on progress
     at its open meetings.

2.   Matters for consideration
     The purpose of this agenda item is to update the Cluster board on the further
     progress being made with the roll out of Futures 2013.

     Futures 2013 is centred around the workforce transition scenarios being
     developed and implemented to deliver the system and organisational changes
     required by the Health and Social Care Act. This includes the following;

           Developing the Cluster itself

           Developing Clinical Commissioning Groups

           Aligning staff and functions for transfer to the City and County Local
            Authorities and Public Health England

           Identifying staff and     functions   to   be   absorbed     into   the    NHS
            Commissioning Board

           Greater East Midlands Commissioning Support Service

     For each of these scenarios work is being taken forward across the Cluster to
     identify opportunities for rationalisation and business efficiencies plans and
     timeframes, audit skills and map the current/future workforce, identify areas
     where investment in new skills may be required, and structure the transition
     plans and timeframes.

     The Cluster HR function continues to operate a central coordinating and support
     function for the changes and is providing on-going support and guidance to
     managers, staff and local trade unions. HR implications of the changes are being
     managed in accordance with guidance documents issued by the Department of
     Health and we are working closely with HR networks across the Cluster SHA.
     The Cluster Head of HR continues to contribute to the shaping, nationally and
     regionally, of the People Transition workstream.

                                                          Cluster Board Meeting 6 June 2012
                                                                    Agenda Item number 7.2.1

     Work is now underway to manage and protect the commissioning talent pipeline
     for Derbyshire and succession planning for key posts. This is incorporated in a
     proposed development programme targeted at middle and senior managers
     below Directors due to be delivered in June, July, September and October of
     this year.

3.   Assessing Equality Impact
     The Cluster continues to work on ensuring that the implementation of the EDS
     (Equality Delivery System) takes proper account of the system and
     organisational changes required by the Coalition Government’s planned
     changes to health and social care. EDS objectives are integral to Futures 2013
     and the Cluster’s approach to supporting staff and their managers through the
     current programmes of organisational change. This has been particularly
     important in the design and delivery of the staff support programmes which ran
     very successfully in both City and County PCTs, the recent MARS and VR
     programmes and support for line managers.
     A number of other arrangements have been put in place to embed delivery of the
     public sector General Equality Duty and the EDS within the Cluster. The
     Cluster’s Equality, Inclusion and Human Rights’ function leads the organisational
     and individual capacity and capability development of the Cluster in relation to
     equality. This includes working with the CCGs to embed equality in their
     emerging business processes and support the relevant capability development.

     All the actions being taken forward as part of Futures 2013 have been checked
     for compliance with the Cluster’s EDS duty.

4.   People Transition Programme
     The Transition Programme for Derbyshire incorporates the following broad

           Organisational Design
            Including work to confirm receiver structures and jobs, functions to
            transfer and establishing ‘hosting’ arrangements for NHSCB
           Recruitment and Retention
            Arrangements to recruit to receiver organisations where appropriate, the
            use of national assessment arrangements for some senior appointments,
            production of job descriptions, secure support from National Transition
           Policies and Procedures
            Including work to develop pooling, matching and appeal processes etc
           Employee Relations
            Ongoing management of pro-active consultation arrangements
           Workforce Data
            Inputting data into national and regional workforce tracker tools, develop
            central system to store all recorded pooling and matching activity, support
            receivers to capture workface transition data and manage workforce ‘due
            diligence’ arrangements with receivers.
           Organisational Development
            Including work to ensure that there are programmes to provide excellent
            support and assistance to staff throughout the change and transition
            process. Work with receivers to ensure effective induction arrangements
                                                     Cluster Board Meeting 6 June 2012
                                                               Agenda Item number 7.2.1
       are in place
      Employee Communications and Engagements
       Some of the more detailed work now underway on transition is set out

4.1 Transition Principles
In accordance with national guidance the Cluster is managing the transition
programme in a way which ensure that:

 a) Staff will be:
    Treated fairly and consistently
    Engaged and consulted with
    Kept informed and supported
 b) Staff side will be engaged and involved throughout
 c) All reasonable steps will be taken to maximise transfers and avoid
 d) We will work to retain valuable skills and experience
 e) We will ensure that all staff who leave the NHS are treated with dignity and
 f) All transfers will be covered by Transfer Schemes to protect terms and
    conditions of service, continuity of employment and any agreed pension
    provision in line with COSOP and the Transfer to Undertakings Protection
    of Employment regulations 2006 (TUPE).

4.2 Initial Assignment
Using the national toolkit all staff in the PCT have been aligned to receiving
organisations as follows;

   -   CCG’s: 158 staff
   -   CSO: 211 staff
   -   Derby City Council: 23 staff
   -   Derbyshire County Council: 70 staff
   -   NHS CB: 41 staff
   -   Cluster: 24 staff
   -   Prop Co: 23 staff
   -   Public Health England: 1

4.3 Job Matching, Pooling and Selection
Guidance has been issued by the Department of Health, and we will follow this
guidance in partnership and consultation with Trade Union Colleagues in
developing local plans and protocols. A summary of national guidance is
outlined below:

      Transfers can be affected by “lift and shift”, where there is a transfer of
       the whole function and no matching and selection process is necessary.

      Where whole functions are not being transferred, there will be a pre-
       transfer matching of staff carried out by a matching panel comprising
       management, Trade Union and HR representative. This panel will review
       sender and receiver job descriptions and organisation charts and
       determine if staff will:

                                           Cluster Board Meeting 6 June 2012
                                                     Agenda Item number 7.2.1

-   Slot in, ie. equal or less number of posts than people – a matching
    process will be needed to determine the slot in, but no selection
    process will be necessary; jobs will be considered a match where
    51% or more of the post holders existing substantive role matches
    the post in the same function and grade in the new organisation.

-   Competitive slot-in, ie. more people that posts, so a selection
    process will be necessary. In this event we would follow our
    Organisational Change Policy, and initially ask for volunteers who
    wish to de-select themselves from the process. Where needed,
    selection would be carried out in accordance with Department of
    Health guidance, with staff being assessed against the
    requirements of the job description and person specification of the
    role in the new organisation.

-   For those where there is no match or who were unsuccessful in
    securing a post in the steps above, they will be formally placed “at
    risk” and will enter a re-deployment phase. Staff here will have
    priority for any suitable remaining vacancies in their designated
    receiving organisation along with other transferees to that
    organisation who were also at risk. They will also be put on the
    Cluster ‘at risk’ register and be covered by the regional re-
    deployment process. Staff in this category will be covered by the
    Trust’s Organisational Change and Pay Protection Policies, as well
    as relevant provisions in Agenda for Change.

-   Staff who do not secure posts in the new organisations and who
    are in non-TUPE transfers will be served with notice of redundancy
    to run concurrently with being at risk, and in the event that re-
    deployment is not successful would leave the PCT on grounds of
    redundancy on 31 March 2013. Any member of staff whose
    employment is terminated on grounds of redundancy (either by
    voluntary or compulsory means) will receive payment in
    accordance with Agenda for Change and NHS Pension Scheme

-   Staff whose transfer is covered by the TUPE regulations and who
    do not secure a new post in the new organisation will transfer
    across to the new organisation on 1 April 2013, and will thereafter
    undergo redundancy consultation, be put at risk and have re-
    deployment opportunities as outline above. In the event they do
    not secure alternative employment they will receive severance and
    pension benefits as outlined above.

                                                                Cluster Board Meeting 6 June 2012
                                                                          Agenda Item number 7.2.1

     4.4 Appeals

     Utilising Department of Health guidance, a Derbyshire appeals protocol will be
     developed in partnership with Trade Union representatives and communicated to
     all staff.

     4.5 Future Steps – Timeline

     As at May 2012 the following is what we expect, but this could be subject to
     Department of Health guidance and change:

              All staff to have 1-2-1 with manager using 1-2-1 template by mid June
              New bodies confirming organisational structures by end June
              Matching/pooling/selection (where required) by end September
              Formal confirmation to staff of outcome – either transfer to new body or at
               risk by 31 December.

     4.6 Vacancy Management

     In the run-up to transition, in order to provide maximum opportunities for cluster
     staff, the following principles will apply for posts with approval to recruit:

               Staff currently at risk in the Cluster will be given initial consideration and
                priority for any vacancies that arise
               If the above does not fill the post then it will be advertised within the
               If the above does not result in recruitment then it will be advertised on
                NHS jobs with staff on the regional ‘at risk’ register having preferential

5.   Engagement

     Communications and engagement remain key enablers for Futures 2013 and we
     continue to work closely with the cluster communications function to ensure that
     key messages for staff and stakeholders are distributed regularly and effectively,
     using a range of channels, and that staff are able to engage with the change
     process. Further guidance from DH on managing the workforce implications of
     the transition process, including the interpretation of potential TUPE implications
     associated with alignment decisions, is being monitored on an on-going basis
     and communicated to staff as appropriate.

     Staff now have the opportunity to attend special transition surgeries being set up
     by the HR Department and a set of Q&A has been developed for issue to all
     staff. All line managers are conducting a further found of 1:1 discussions with
     staff and confirming the job descriptions for current substantive roles being
     undertaken. The line managers are being support through a series of special
     briefing sessions being run by the HR Department.
                                                        Cluster Board Meeting 6 June 2012
                                                                  Agenda Item number 7.2.1

6.   Actions and recommendations
     The Board is asked to;

          Note the progress with implementation of the programme of changes
           under the Futures 2013

          Receive further progress reports at future board meetings.

Name:       Karen Rhodes, Associate Director of HR and OD
Sponsor:    David Sharp, Chief Executive
Date:       June 2012


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